Sandeep J
Bangalore
Summary
Dedicated Internal Auditor with over 16 years of expertise in IT General Controls, IT Application Controls, and Business and Integrated Audits. Recognized for delivering exceptional results through a comprehensive skill set and commitment to industry standards. Proven ability to cultivate strong interpersonal relationships while leading high-impact initiatives within the enterprise. Possesses strong leadership, communication, and problem-solving skills that drive success in audit functions.
Overview
17
17
years of professional experience
1
1
Certification
Work History
Manager - Risk & Controls
Commonwealth Bank of Australia
Bengaluru
09.2022 - Current
- Design and conduct control assurance testing for CBA suppliers (Cyber, Privacy, IT and Data)
- Manage and coach a team in the delivery of an effective CAP, utilizing CBA's Risk Management Framework to provide the business with an assessment and assurance over the effectiveness of the control environment supporting the Group
- Accountable to Perform Control evaluation of the fully automated controls and rate controls for Design and Operational Effectiveness on RiskInSite (RiS) and communicate the results to Control Owner
- Leading and coaching the team to provide Line 1 assurance over the Bank's critical automated and IT dependent business controls
- Also working closely with the business, Line1 Risk community and technology teams to ensure optimization of controls testing
- Driving continuous improvement of the Group's Control Environment through the provision of insights and reporting to enable the timely and effective remediation of controls
- Develop and enhance the reporting of control effectiveness to provide Control owners and Service Owners with the management information required to effectively manage services
- Experience in end-to-end management of suppliers (Supplier Risk Evaluation, Onboarding, and Offboarding of suppliers).
- Establish resource planning to meet all relevant regulatory and business-critical timelines and requirements.
- Work with internal and external stakeholders to ensure the timely and effective execution of Control Assurance Program testing
- Review of reliance reports such as (SOC2, Type 1, 2), ISO 27001 internal audit reports and ability to relate the IT General Controls, IT Application Controls, Cyber Controls to the SOC framework
- Technical writing including reporting on the effectiveness and documentation of observations Non-confirmative identified during the control assurance program are reported back to business for an issue agreement for overall control effectiveness rating with relevant stakeholders
Senior Control Management Specialist
Wells Fargo
11.2021 - 09.2022
- Perform IT General Control testing (ITGC) to identify, assess, manage and mitigate current and emerging risk exposures associated within the Technology domains for the controls being tested
- Perform Control evaluation and rate controls for Design and Operational Effectiveness on a periodic basis
- Accountable to design and drive implementation of risk based, measurable and sustainable Controls against Business Functionality needs, Strategic Initiatives, Issue Management, Policy, Compliance, Regulatory and Technology Framework requirements, factoring in Automation and Efficiency
- Governed all required risk related information is communicated, managed and escalated as appropriate with respect to segregation of duties, Ensure all required SoD risk related information is communicated, managed and escalated as appropriate
- Proactively identify and assess a view of risk, in coordination with Outcross-functionally across Wells Fargo Technology and Business Lines, with respect to confidentiality, integrity and reliability of source code and delivery of software development mechanisms
- Identified opportunities for Process and Control improvements thru monitoring of emerging risk, changes to Technology environment, industry framework and trends
- Educate and influence Wells Fargo Technology for effective implementation, execution and governance of Technology Control Framework
- Provide Risk Opinion, Credible Challenge, and Recommendations through Process, Risk and Control evaluation
- Presenting the weekly metrics and reporting to provide concise risk view InControl environment health, timeliness and effectiveness of risk mitigation, and emerging risk
Senior Manager
State Street
Bengaluru
09.2021 - 10.2021
- Attending required partnership meetings to ensure appropriate Technology Risk Control Framework coverage and engagement to understand requirements.
- Managing the incident reporting dashboard, which is reported by the joint venture.
Senior Assurance Specialist
ANZ Support Services
01.2013 - 02.2016
- Perform testing of controls to determine Design & Operating effectiveness for Australia and Bangalore based teams within Payroll teams
- Discussing any identified issues with the process/control owners and obtains action plans for remediation
- Ensuring deficiencies and remediation's are reported and progressed in a timely manner
- Escalating and managing compliance issues where required
- Perform control testing and key reports testing to determine the completeness, accuracy and effectiveness of information used in operation of controls
Quality Assurance (SME)
ANZ Support Services
04.2010 - 12.2012
- Ensuring all chargeback, pre-compliance, pre-arbitration related documentation are forwarded to member banks & Visa International improper order and within the stipulated time period in accordance with Visa International Operating regulations
- Monitoring Fraud & reconciling accounts of the Chargeback process to of NZCredit/Debit Card
- To make sure quality of the services provided by the organization is met
- We overlook the total quality of services to meet customer's expectations, legal compliances and also provide business solutions for the improvement of the process
- Performing Quality audits and sending reports to internal stakeholders and also Training and mentoring the new recruits on the process
- Managing incidents for EMEA and Asia Pacific region within the Global Billing Operations business unit
- Perform weekly governance call with HCL (Joint Venture) team and ensuring the incidents are logged, tracked and reported to the management on a real time basis
- Coordinating with multiple teams for keeping the incident tracker updated on a real time basis
Loan Support Analyst
ANZ Support Services
09.2008 - 03.2010
- Role involves creation of loan accounts and drawing down loans for the customers
- Providing loan restructure, repayment plans and updates the changes in interest rate into customers loan account
- Preparation of Loan agreements and Overdraft agreements for the New Loans for New Zealand Banking clients
Education
Master's degree - ISMS
Indira Gandhi National Open University
New Delhi, India 12-2026
MBA - Finance
Madurai Kamaraj University
12.2013
Bachelor of Commerce - Accounting
S.M.S.G Jain College
12.2008
Pre-University - Commerce
Vijaya College
12.2003
Higher Secondary Education -
ITI Vidya Mandir
12.2003
Skills
- Risk management
- Control evaluation
- Project management
- Team leadership
- Process improvement
- Analytical Skills
- Decision - Making Skills
- Conflict Resolution
- Coaching - Mentoring
- Problem Solving
- Stakeholder Management
- Control & Governance
- Strategic planning
- Regulatory Standards
- Business Continuity Management
- People Management
- Regulatory Frameworks
Certification
- Certified Information Systems Auditor (CISA), 2023
- Certified Information Security Manager (CISM), 2024
- Certified in Risk and Information Systems Control (CRISC), 2024
- ISO/IEC 42001:2023 AI Management System Lead Auditor & Lead Implementer
- ISO 27001:2022 ISMS Lead Auditor
- ISO 27701:2019 PIMS (Privacy) Lead Auditor
- Certified Scrum Product Owner (CSPO), 2023
- Certified Risk Manager (ISO 31000) (CRM), 2024
Disclaimer
I hereby declare that the above furnished details are true and complete to the best of my knowledge and belief.
Affiliations
- I am an active member of the ISACA Bangalore Chapter and will take part in all the events and seminars organized.
Timeline
Manager - Risk & Controls
Commonwealth Bank of Australia
09.2022 - Current
Senior Control Management Specialist
Wells Fargo
11.2021 - 09.2022
Senior Manager
State Street
09.2021 - 10.2021
Senior Assurance Specialist
ANZ Support Services
01.2013 - 02.2016
Quality Assurance (SME)
ANZ Support Services
04.2010 - 12.2012
Loan Support Analyst
ANZ Support Services
09.2008 - 03.2010
Master's degree - ISMS
Indira Gandhi National Open University
MBA - Finance
Madurai Kamaraj University
Bachelor of Commerce - Accounting
S.M.S.G Jain College
Pre-University - Commerce
Vijaya College
Higher Secondary Education -
ITI Vidya Mandir
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